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13 Aug 2018, 8:51 am
In this, the first ever snapshot of the industry's professional growth conducted by FINRA, the number of total broker-dealers has risen steadily over the past decade. [read post]
13 Aug 2018, 8:15 am
You wouldn't think any of that would set the stage for an amazing FINRA Arbitration Decision. [read post]
13 Aug 2018, 7:58 am
He is barred from any and all affiliations with any FINRA member firm, in any capacity. [read post]
10 Aug 2018, 1:47 pm
Former UBS broker John Maccoll (CRD #839441) has been indefinitely barred from affiliation with any FINRA member in any capacity as of 07/02/2018. [read post]
10 Aug 2018, 12:55 pm
For FINRA’s full findings see FINRA case # 2018058446601. [read post]
10 Aug 2018, 11:59 am
LeVine is currently not registered with any FINRA member. [read post]
10 Aug 2018, 11:00 am
., (CRD #4640067) is a registered broker and investment advisor who is currently suspended by FINRA. [read post]
10 Aug 2018, 9:44 am
Shuttleworth failed to respond to a FINRA investigation against her, which resulted in her automatic bar. [read post]
10 Aug 2018, 8:10 am
Fortunately, those investors that incurred losses investing with Maccoll may be able to recover those losses through the FINRA arbitration process. [read post]
10 Aug 2018, 6:43 am
Today's article features what is now a now 14-year long affair that started with a 2004 employee forgivable loan and move to the 2008 filing of a FINRA Arbitration Statement of Claim by a former UBS associated person against that broker-dealer. [read post]
10 Aug 2018, 2:39 am
"Bill Singer Submits Rare FINRA Comment" (BrokeAndBroker.com Blog, June 1, 2017) http://www.brokeandbroker.com/3487/finra-comment-singer/ In part, Bill Singer's submitted comment raised the following issuehttp://brokeandbroker.com/PDF/170530FINRAComment.pdf:Board Beyond Belief The Special Notice seems a familiar effort to manicure the hand of FINRA, which remains within a metal gauntlet. [read post]
9 Aug 2018, 2:05 pm
According to FINRA, Reifler refused to answer questions asked by FINRA Staff. [read post]
9 Aug 2018, 12:50 pm
Last week, Malecki Law filed an amended FINRA arbitration complaint against Securities America on behalf of victims claiming that the broker-dealer’s inadequate supervision over its registered representative, Hector May, permitted his alleged Ponzi Scheme to happen. [read post]
9 Aug 2018, 12:30 pm
The issue concerns FINRA Rule 12200 [materials], which requires a FINRA member to arbitrate any dispute with a customer upon the customer’s request. [read post]
9 Aug 2018, 11:13 am
Silver Law Group has filed a FINRA arbitration claim against Centaurus Financial, Inc. for unsuitable investment recommendations. [read post]
9 Aug 2018, 7:05 am
(FINRA Case #2016049239101) Richard Charles Foster (CRD #4557045, Tulsa, Oklahoma) – An AWC (Accept, Waiver & Consent) was issued in which Foster was assessed a deferred fine of $10,000 and suspended from association with any FINRA member firm in all capacities for six months. [read post]
9 Aug 2018, 2:55 am
2018 FINRA Industry Snapshothttp://www.finra.org/sites/default/files/2018_finra_industry_snapshot.pdfThe FINRA Industry Snapshot 2018 provides an overview o the number of FINRA-registered individuals, firms and their revenues, and market activity. [read post]
8 Aug 2018, 2:26 pm
“3rd Circuit rules banks can’t push clients out of FINRA arbitration, breaks with 2nd, 9th”: Alison Frankel’s “On the Case” from Thomson Reuters News & Insight has this post about a ruling that the U.S. [read post]
8 Aug 2018, 12:57 pm
Our Client Loses a Significant Amount of Money in an Oil and Gas Private Placement According to the FINRA statement of claim, a broker of the Texas-based brokerage firm first met with our client and convinced him to fly to Texas for the investment pitch. [read post]
8 Aug 2018, 12:51 pm
They must ensure that those advisors are complying with applicable FINRA rules and regulations. [read post]
